DFX Intelligence
Firms
SEC-registered investment advisersAbout this listOne row per CRD, from the adviser’s latest Form ADV. The class is a rule over Item 5.D (where the RAUM sits) and Item 7.A (related broker-dealer or bank); the wirehouses and national broker-dealers are a short curated list.Advisors is the count of representatives IAPD registers through the firm today, which is not the same as the firm’s own Item 5.B answer.
2,583 advisers match
| Firm | HQ | Class | RAUM | Private clients | Advisors | RAUM / advisor | Offices | Private funds |
|---|---|---|---|---|---|---|---|---|
| Bridgeport Partners CRD 322871 | New York, NY | asset manager | $476M | 0.0% | 0 | Not computed | 1 | 3 |
| Horiko Capital Management LLC CRD 126343 | New York, NY | mixed wealth | $475M | 24% | 0 | Not computed | 0 | 2 |
| Spielberger & Brooks, Inc. CRD 147197 | Woodbury, NY | independent RIA | $474M | 97% | 0 | Not computed | 0 | 0 |
| S••••• A••••••• CRD 168204 | New York, NY | asset manager | $473M | 0.0% | 0 | Not computed | 0 | 9 |
| W••••••••• I••••••••• A•••••••• L•• CRD 126337 | New York, NY | independent RIA | $472M | 86% | 6 | $78.7M | 0 | 0 |
| V••••••• C•••••• L•• CRD 167242 | New York, NY | asset manager | $471M | 0.0% | 0 | Not computed | 1 | 11 |
| H• M••••••••• P•••••••• L•• CRD 145480 | New York, NY | mixed wealth | $470M | 35% | 2 | $235M | 0 | 0 |
| R••••••••• C•••••• P••••••• CRD 161688 | New York, NY | mixed wealth | $470M | 45% | 5 | $93.9M | 0 | 2 |
| A•••••••• A••••••• M••••••••• L•• CRD 108180 | New York, NY | asset manager | $469M | 0.0% | 0 | Not computed | 0 | 1 |
| C••••••••• A•••• M••••••••• L•• CRD 108994 | New York, NY | independent RIA | $469M | 63% | 3 | $156M | 1 | 1 |
| P••••••• C•••••• M••••••••• L•• CRD 161420 | New York, NY | asset manager | $469M | 0.0% | 0 | Not computed | 0 | 4 |
| H••••••• C•••••• P••••••• L•• CRD 319077 | New York, NY | asset manager | $468M | 0.0% | 0 | Not computed | 1 | 6 |
| C••••• L••• C•••••• M••••••••• CRD 307079 | New York, NY | asset manager | $466M | 0.0% | 0 | Not computed | 0 | 12 |
| P•••• K•••••••• A•••• M••••••••• L• CRD 133302 | New York, NY | other | $466M | 19% | 0 | Not computed | 0 | 11 |
| A••• V••••••• M••••••••• L•• CRD 283262 | New York, NY | asset manager | $466M | 0.0% | 0 | Not computed | 0 | 27 |
| A••• F••••••••• A••••••• L•• CRD 168642 | New York, NY | other | $466M | 0.0% | 0 | Not computed | 0 | 13 |
| A••••••••• P••••••••• F•••••••• S••••••••• L•• CRD 126685 | Plainview, NY | other | $464M | 11% | 1 | $464M | 0 | 0 |
| S•••••• M••••••••• L• CRD 157587 | New York, NY | asset manager | $464M | 0.0% | 0 | Not computed | 1 | 2 |
| T••••• C•••••• A•••••••• L• CRD 156659 | Armonk, NY | asset manager | $462M | 0.0% | 0 | Not computed | 3 | 3 |
| A••••••••• F•••••••• S••••••• C••• CRD 126155 | Utica, NY | independent RIA | $462M | 77% | 3 | $154M | 0 | 0 |
| G••• M••••••••• L•• CRD 334800 | New York, NY | asset manager | $460M | 0.0% | 0 | Not computed | 0 | 8 |
| H•••••••• C•••••• M••••••••• L•• CRD 170882 | New York, NY | asset manager | $459M | 0.0% | 0 | Not computed | 0 | 2 |
| S•••••••• A•••• M••••••••• L•• CRD 172000 | New York, NY | asset manager | $458M | 1.0% | 6 | $76.4M | 1 | 0 |
| P•••••••• G•••• R••• E••••• A•••••• L•• CRD 161324 | New York, NY | asset manager | $458M | 0.0% | 0 | Not computed | 0 | 6 |
| C••• P•••••• W•••••• L•• CRD 316866 | Oyster Bay, NY | independent RIA | $455M | 98% | 5 | $91.1M | 1 | 0 |
| S••••• A••••••••• L•• CRD 285275 | New York, NY | independent RIA | $455M | 95% | 1 | $455M | 0 | 1 |
| S••••• G•••• A••••••• S••••••• CRD 287512 | Orchard Park, NY | independent RIA | $454M | 100% | 17 | $26.7M | 10 | 0 |
| B•••• P•••• I••••••••• M••••••••• L•• CRD 157572 | New York, NY | asset manager | $453M | 0.0% | 0 | Not computed | 0 | 3 |
| E••••••• C•••••• CRD 308447 | New York, NY | asset manager | $453M | 0.0% | 0 | Not computed | 4 | 3 |
| E••• F•••• C•••••• M••••••••• L•• CRD 309884 | New York, NY | asset manager | $451M | 0.0% | 0 | Not computed | 0 | 0 |
| J•••••• I••••••••• C•••••• CRD 170814 | New York, NY | asset manager | $451M | 0.0% | 0 | Not computed | 0 | 5 |
| I•• P••••••• M•••• M•••••••• I••• CRD 126344 | New York, NY | independent RIA | $451M | 100% | 1 | $451M | 0 | 0 |
| S••••••••• C•••••• L• CRD 286234 | New York, NY | asset manager | $451M | 0.0% | 0 | Not computed | 0 | 5 |
| H••••• • S••••• A••••••• S••••••• L•• CRD 151462 | Dewitt, NY | other | $450M | 12% | 27 | $16.7M | 1 | 0 |
| O••••• P•••••• W••••• L•• CRD 331295 | New York, NY | independent RIA | $448M | 77% | 3 | $149M | 0 | 0 |
| B••••• A•••• M••••••••• CRD 326536 | Purchase, NY | asset manager | $446M | 0.0% | 0 | Not computed | 1 | 2 |
| M•••• F•••••••• A••••••• L•• CRD 139366 | New York, NY | independent RIA | $445M | 93% | 36 | $12.4M | 1 | 0 |
| 4•• C•••••• CRD 316647 | New York, NY | asset manager | $445M | 0.0% | 0 | Not computed | 0 | 3 |
| B••••••••• C••••••• L•• CRD 158390 | New York, NY | asset manager | $445M | 0.0% | 0 | Not computed | 0 | 2 |
| F••••• C••• C•••••• L•• CRD 281503 | Pittsford, NY | independent RIA | $445M | 91% | 6 | $74.1M | 1 | 1 |
| C• I••••••••• P•••••••• L•• CRD 168941 | New York, NY | asset manager | $444M | 0.0% | 0 | Not computed | 0 | 3 |
| C•••••• S•••• A••••••••• L•• CRD 165984 | Pittsford, NY | independent RIA | $443M | 98% | 3 | $148M | 0 | 0 |
| M•••••• A••••••• G••••• L•• CRD 153723 | Williamsville, NY | independent RIA | $443M | 100% | 4 | $111M | 5 | 0 |
| L••••••• W••••• M••••••••• L•• CRD 158693 | Melville, NY | independent RIA | $442M | 95% | 6 | $73.7M | 4 | 0 |
| D••••••••• C•••••• M••••••••• L• CRD 291371 | New York, NY | asset manager | $442M | 0.0% | 0 | Not computed | 0 | 2 |
| P••••••• A•••• M••••••••• CRD 111479 | White Plains, NY | institutional | $442M | 0.0% | 0 | Not computed | 1 | 0 |
| N•••• I••••• V••••••• CRD 309291 | New York, NY | asset manager | $441M | 0.0% | 0 | Not computed | 0 | 4 |
| R••• A•••••••• L•• CRD 309760 | Rochester, NY | independent RIA | $441M | 84% | 7 | $63.0M | 0 | 0 |
| B•••••••• E••••• P••••••• CRD 323332 | New York, NY | asset manager | $440M | 0.0% | 0 | Not computed | 0 | 1 |
| S••••• A•••• P••••••• CRD 282418 | New York, NY | asset manager | $438M | 0.0% | 0 | Not computed | 0 | 8 |
The firm names past the first 3 rows are hidden. Open a row to reveal that record with a free account (5 a month), or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source is public either way.